Timothy D. Kaiser
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy David Kaiser was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 4 firms and has passed the Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2002 - July 17, 2002
POINT DIREX SECURITIES, LLC
April 10, 2001 - May 23, 2002
NATIONAL SECURITIES CORPORATION
November 17, 2000 - June 4, 2001
RUMSON CAPITAL, LLC
September 9, 1996 - November 17, 2000
JOSEPH CHARLES & ASSOC., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
POINT DIREX SECURITIES, LLC
CRD#: 41437 / SEC#: , 8-49428
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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